Policy and Guidance for the Declaration and Registration of Interests Receipt of Hospitality and Gifts Outside Employment General Policy No.

Transcription

1 Policy and Guidance for the Declaration and Registration of Interests Receipt of Hospitality and Gifts Outside Employment General Policy No. 7 Version: 1 Ratified by: Date ratified: 23 May 2011 Name of originator/author: Name of responsible committee/individual: Date issued: April 2011 Review date: April 2012 Target audience: Wirral Community NHS Trust Board Head of Communications and Corporate Affairs Quality & Governance Committee All Wirral Community NHS Trust staff

2 1. Introduction 1.1 The Standing Orders (SOs) of Wirral Community NHS Trust which were approved by the Board at its meeting on 1 April 2011, form part of the regulatory framework for the business conduct of the organisation. 1.2 The intention of this framework is to: Protect the Trust s interests: and Protect members of nominated groups and staff from any possible accusation that they acted less than properly. 1.3 All Board members, members of Board Committees and all staff should be aware of the existence of this policy document (and where necessary be familiar with the detailed provisions). 2. Declaration of Interests and Receipt of Hospitality and Gifts 2.1 Standing Order section 1, chapter 7, paragraph 7.1 specifically covers the elements relating to Declaration, while the Standards of Business Conduct for NHS Staff document reinforces the responsibility of all staff to be aware of their responsibility. The Code of Conduct for NHS Boards requires the Board to set an example of good practice. The use of NHS funds for hospitality and entertainment should be capable of justification as reasonable in the light of general practice in the public sector. The use of such funds is open to be challenged by both External and Internal Audit. 3. Register of Interests 3.1 In accordance with Standing Order, section 1, chapter 7, paragraph 7.1, the Chief Executive will ensure that a Register is held to record formally the declaration of interests made by members of: The Trust Board Board Committees Staff Close family/relatives of the above members 3.2 The Register will be updated annually but members of the above groups and staff need to record any relevant interest as and when they occur i.e. do not wait for next annual update. 3.3 The Register, while being available for the Trust s external and internal auditors, will be made available for inspection by members of the public. The Trust will undertake a review of all entries in the Register before making available for public inspection. In accordance with Standing Order section 1, chapter 7, paragraph 7.1, the Trust will make arrangements to publicise both the existence of 2/12

3 the Register and arrangements for viewing the Register (Trust website and Trust Annual Report). 4. Declaring Interests Members of the above groups are required to declare interests, which are relevant and material to their membership by using forms appended to this policy Examples of interests, which are regarded as relevant and material, are: 4.1 Remuneration A description of : (a) (b) (c) (d) (e) Remuneration received by virtue of being:- i. Employed or self employed; ii. The holder of an office; iii. The Director of an undertaking; iv. A partner in a firm; and v. Involved in undertaking a trade, profession, vocation or any other work Any allowance received in relation to the membership of any other organisation; The name, and registered name if different, and nature of any applicable employer, self-employment, business, undertaking or organisation The nature and regularity of the work that is remunerated; and The name of the directorship and the application of the applicable business 4.2 Related Undertakings A description of a Directorship that is not itself remunerated, but is of a company or undertaking which is a parent or subsidiary of a company or undertaking which pays remuneration. 4.3 Contracts A description of the nature and duration, but not the price, of a contract which is not fully implemented where:- (a) goods and services are to be provided to, or works are to be executed for, Wirral Community NHS Trust; and (b) Any responsible person has a direct interest, or an indirect interest as a partner, owner or shareholder, Director or officer of a business or undertaking, in such goods and services. 4.4 Houses, Land and Buildings A description of any rights of ownership or other interests that may be significant to, or relevant to, or bear upon, the work or operation of Wirral Community NHS Trust. 3/12

4 4.5 Shares and Securities A description of, but not the value, of shares and securities in a company, undertaking or organisation that may be significant to, of relevance, to, or bear upon, the work or operation of Wirral Community NHS Trust. 4.6 Non-Financial Interests A description of such interests as may be significant to, of relevant to, or bear upon, the work or operation of Wirral Community NHS Trust, including without prejudice to that generality membership of or office in: (a) other public bodies; (b) clubs, societies and organisations; (c) Trade Unions; and (d) voluntary organisations. 4.7 Hospitality Hospitality offered by Wirral Community NHS Trust (WCT) to WCT employees Provision of hospitality by WCT to employees of WCT would not normally be appropriate except in the case of working lunches in the course of meetings or workshops. However, there are occasions when, in the interests of good management, some expenditure would be appropriate even though there is no involvement of visitors from outside WCT. For example, an informal gathering or time out designed for team development or as part of a similar programme. The merits and benefits of each case must be considered and all instances approved by the relevant Head of Service and Director. The use of NHS monies for hospitality and entertainment at conferences and seminars should be carefully considered to be able to demonstrate good value in incurring public expenditure. Refreshments should NOT be extended to spouses of staff unless the circumstances fully justify this and it is authorised by the Chief Executive following agreement with the relevant Director. Hospitality offered to WCT employees by external organisations Modest hospitality provided it is normal and reasonable in the circumstances (e.g. lunches in the course of working visits) may be acceptable. However, it should be similar to the scale of hospitality, which the NHS, as an employer would be likely to offer. 4/12

5 Staff should decline all other offers of hospitality or entertainment. Where there are exceptional circumstances or if any doubt exists, they should seek the advice of the Chief Executive/Directorate Head. Irrespective of whether hospitality is accepted all offers of hospitality should be declared. Staff must not allow themselves to be put in a position that might be deemed by others to have been influential in making a business decision as a consequence of accepting hospitality. Hospitality for visitors outside Wirral Community NHS Trust (WCT) The provision of hospitality by employees of Wirral Community NHS Trust to representatives of other organisations should be modest and appropriate to the circumstances. Any hospitality offered must be secondary to the purpose of the meeting and the level must be appropriate and in proportion to the event. The costs involved must not exceed the level which the recipients would normally adopt when paying for themselves at such an event or that which could be reciprocated by the NHS 4.8 Drinks at meetings The Directorate Head should consider carefully whether provision of beverages (i.e. tea, coffee) is justifiable. Factors to be taken into account include the likely length of the meeting and the distance travelled by those visitors attending the meeting. As the NHS operates a no-alcohol policy, only non-alcoholic drinks should be considered 4.9 Working lunches Working lunches should be considered when a meeting takes place over the lunchtime period (12pm 1pm) and some of those attending are visitors. Even then, consideration should be given as to whether the provision of a lunch is appropriate When considered necessary, the lunch should be limited to sandwiches or a modest buffet type meal and normally the in-house caterer or similar should be used. Modest hospitality ONLY should be provided other than in exceptional services approved by the Director or Chief Executive where necessary Working lunches should not be provided for meetings that are due to finish by 1.00pm or for meetings that are due to start after 1.00pm Working lunches must be authorised by the appropriate Head of Service. The person responsible for ordering refreshments is responsible for making sure that the number ordered is as near as possible to the number attending the 5/12

6 5. Gifts meeting. Any invitees who have tendered their apologies should be omitted from the numbers given for hospitality Inducements of any kind offered by contractors or other individuals/organisations external to the Authority may not in any way be connected with the performance of duties so as to constitute an offence under the Prevention of Corruption, and Bribery Acts Any casual gifts received will be given to the person for whom they are intended. That person should acknowledge receipt of the gift and inform the donor that the item cannot be received personally but will be entered into a raffle for the benefit of all staff within the PCT Any such gifts should be deposited with the Chief Executive s Personal Assistant Articles of low intrinsic value, such as diaries, calendars and small tokens of gratitude from patients or relatives, need not necessarily be refused, but should always be declared in the register Should any doubt exist however, the advice of the Directorate Head and/or the Director of Finance should be obtained. 6. Outside Employment 6.1 General Principles In accordance with the Standards of Business Conduct for NHS (included within Standing Orders): 6.2 Register NHS staff are advised not to engage in outside employment which may conflict with their NHS work, or be detrimental to it. Staff are advised to inform the Trust if they wish to undertake secondary employment through their appropriate Service Head/Directorate Head The Trust will be responsible for judging whether the interests of patients could be harmed by a member of staff undertaking such secondary employment. The Register for recording Outside Employment will be maintained by the Compliance Team but information should be recorded via the Director of HR. The Audit Committee will monitor the register on a regular basis. 7. Further Guidance 6/12

7 The interests that are declared should be declared in the minutes of the relevant body and subsequently recorded in the Trust s Annual Report. Standing Order 7 requires that interests of spouses should also be recorded. It is good practice to extend this requirement to close relatives also. If any member of these bodies has any doubt about the relevance of an interest he/she should discuss with the Chairman, Chief Executive or Director of Finance, as appropriate. If there is any doubt as to whether to record an interest, it is recommended to record it anyway. It should be noted that this policy is intended to protect the Trust itself, those who serve on its Committees/working groups and members of staff employed by it. The Register will be held by the Compliance Team in Old Market House (Tel: (0151) ) 7/12

8 Register of Interest 2011/2012 STAFF MEMBER/CLOSE FAMILY/RELATIVES (Please delete if not applicable) Please indicate below to which Group you belong by ticking the relevant box(es): Board Board Committees Staff Member Other Please state Name (Please Print) Designation: Date of Declaration: Member s Signature: Line Manager (Please Print) Line Manager s Signature: Date: Register of Interest Nature of Interest Details of Relevant Organisation Effective Date Commencement of Interest Length of appointment (where applicable) 8/12

9 Please complete the above form and return it to Stella Johnson, Compliance Officer, 1 st Floor, South Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL. Tel: NB: IF THERE ARE NO INTERESTS TO RECORD PLEASE INDICATE A NIL RETURN 9/12

10 Register of Gifts and Hospitality Please indicate below to which Group you belong by ticking the relevant box(es): Board Board Committees Staff Member Other Please state Name (Please Print) Designation: Date of Declaration: Member s Signature: Line Manager (Please Print) Line Manager s Signature: Date: Register of Gifts and Hospitality Item of Hospitality/ Gift (Brief Description) Accepted Yes/No Value Event Venue Date Name of Donor Details of any work donor is interested in securing at the Trust 10/12

11 Please complete the above form and return it to Stella Johnson, Compliance Officer, 1 st Floor, South Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL. Tel: NB: IF THERE ARE NO INTERESTS TO RECORD PLEASE INDICATE A NIL RETURN OUTSIDE EMPLOYMENT/PRIVATE PRACTICE Details of Outside Employment/Outside Practice Employer Nature/Type of Business Number of Hours Worked in Outside Employment Other relevant information Do you envisage a conflict of interests between this employment/outside practice and your Trust employment? YES/NO Signature Date.. Please print name. Contact No.. Service/Department.... Job Title. Manager s Signature.. Date.. Please print name Contact No.. Service/Department. Job Title The completed form should be sent to the Compliance Team, Wirral Community NHS Trust, 1 st Floor, South Wing, Old Market House, Hamilton Street, Birkenhead, CH41 5AL Guidance Notes: 11/12

12 This form is to notify Wirral Community NHS Trust if you are engaged in, or wish to engage in outside employment, in addition to your work with the Trust. If such work would mean that your working hours may exceed 48 hours per week, please refer to the Working Time Regulations /12